Complaints Procedure

Optiva Securities Ltd (“Optiva”) places a premium on the successful outcome of complaints – successful both in terms of the satisfaction of the customer and the protection and enhancement of the Optiva’s reputation.

To this end the following procedures have been put in place to produce an efficient and fair outcome to any complaint raised.

The Procedure

Should you have a complaint that we have been unable to resolve by the close of business the following business day, you should write to us at the following address:

The Compliance Officer
Optiva Securities Ltd
118 Piccadilly
London W1J 7NW

Alternatively, you may call us on 020 3137 1904 and ask to speak to the Compliance Officer.

You will then receive a written acknowledgement that your complaint has been received and will be investigated. The known facts of the complaint should be confirmed in the acknowledgement. The Compliance Officer will decide who is the most appropriate person to investigate the matter.

Finalising the Complaint

Optiva requires all complaint investigations to have been finalised within 8 weeks from the date on which the matter was originally raised. On the conclusion of the investigation, the Compliance Officer will write to you stating:

• whether the complaint has been upheld or rejected;
• if the complaint was upheld, detailing any offer of compensation;
• that the complainant, if a retail customer or individual, may have the right to complain directly to the Financial Ombudsman Service, their contact details, and enclosing a copy of the Financial Ombudsman Service explanatory leaflet

TIME BARRED COMPLAINTS

If we receive a complaint which relates to a matter which is:

• six years after the event complained of; or:
• three years from the date on which the complainant became aware (or ought reasonably to have become aware) that he had cause for complaint;

we may reject the complaint without considering the merits. The Ombudsman may waive the time limits in exceptional circumstances.